§ 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.  


Latest version.
  • An OTC derivatives dealer, as defined in §240.3b-12, shall be exempt from any requirement under section 15(b)(8) of the Act (15 U.S.C. 78o(b)(8)) to become a member of a registered national securities association.

    [63 FR 59397, Nov. 3, 1998]